Documents

Changing Position Title of Judgment Officer to Administrative Judge

Federal Register · Rule · Nov 18, 2021

day of the act, event, or default from which the designated period of time begins to run is not to be included. … The last day of the period so computed is to be included unless it is a Saturday, a Sunday, or a legal holiday, in which event the period runs until the end of the next day which is not a Saturday,

Concept Release on the Denomination of Customer Funds and the Location of Depositories

Federal Register · Notice · Dec 30, 1997

For a limited period of time, the country in which the customer is domiciled, and only for operational ease in receiving and disbursing funds from and to customers living in foreign countries and trading … on it would provide a valuable supplement to the other comments.

Bunched Orders and Account Identification

Federal Register · Rule · May 9, 1997

By this Approval Order, the Commission, pursuant to Section 17(j) of the Commodity Exchange Act, is approving the NFA Notice. … This time period will provide NFA with an opportunity to review and verify the information contained in the certification.

Contract Market Rules Altered or Supplemented by the Commission

Federal Register · Rule · Aug 6, 2009

The CBOT had argued that the Act did not compel its members to participate in customer-initiated arbitration proceedings and, during the period of 1980-81, CBOT members had denied five customers the right … Regulatory Flexibility Act The Commission is required to prepare and make available for public comment a regulatory flexibility analysis describing the impact of a rule on small entities when the Commission

Comparability Determination for Japan: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Federal Register · Rule · Sep 15, 2016

(Act No. 108 of 1998). 83 83  JFSA Public Notice No. 15, Article 2(1). … No. 108 of 2006 (the “Trust Act of Japan”). 151  See Trust Act of Japan, Article 23(1) stating: Except where based on a claim pertaining to an Obligation Covered by the Trust Property . .

Privacy Act of 1974 System of Records Notice

Federal Register · Notice · Jul 13, 2012

Follow the instructions for submitting comments through the Web site. • Federal eRulemaking Portal: Comments may be submitted at http://www.regulations.gov. … Please submit your comments using only one method. All comments must be submitted in English, or if not, accompanied by an English translation.

Cash Settlement and Regulatory Halt Requirements for Security Futures Products

Federal Register · Rule · May 24, 2002

Record Retention Period F. Collection of Information Is Mandatory G. Confidentiality IV. Costs and Benefits of the Final Rule CFTC: SEC: A. Comments B. … volatility that may develop during periods of extreme downward volatility).

Exemption for Bilateral Transactions

Federal Register · Proposed Rule · Jun 22, 2000

DATES: Comments must be received by August 7, 2000. … During this period, OTC financial derivatives have developed into global markets having outstanding contracts with a total notional value of over $80 trillion.

Profile Documents for Commodity Pools

Federal Register · Proposed Rule · Jul 27, 2000

DATES: Comments must be received by August 28, 2000. ADDRESSES: Interested persons should submit their views and comments to Jean A. … of 1933 (“Securities Act”).

Revisions to Business Conduct and Swap Documentation Requirements for Swap Dealers and Major Swap Participants; Correction

Federal Register · Rule · Jan 28, 2026

Because the correcting amendment does not make any changes or otherwise impose any new substantive regulatory requirements, pre-publication public comment period is unnecessary. 1 1  5 U.S.C … Section 553 of the Administrative Procedure Act (“APA”) generally requires an agency to publish notice of a rulemaking in the Federal Register and provide an opportunity for public comment.

Comparability Determination for Canada: Certain Entity-Level Requirements

Federal Register · Notice · Dec 27, 2013

Currently, the CSA has issued a Consultation Paper 91-407 on “Derivatives Registration” (comment period closed June 17, 2013). 15  Consolidated Acts of Canada, S.C. 1991, c. 46. 16  Because … Records must be “readily accessible” for the first 2 years of the 5 year retention period (consistent with § 1.31).

Customer Clearing Documentation and Timing of Acceptance for Clearing

Federal Register · Proposed Rule · Aug 1, 2011

Act (CEA or Act)  3 to establish a comprehensive new regulatory framework for swaps. … This hour burden arises from the time necessary to develop and periodically update the trade processing procedures required by the proposed regulations. Number of registrants: 14.

Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps

Federal Register · Proposed Rule · Nov 5, 2020

Procedure Act and other applicable laws, and may be accessible under the Freedom of Information Act. … Act (15 U.S.C. 78c(a)(67)).

Protection of Clearing Member Funds Held by Derivatives Clearing Organizations

Federal Register · Proposed Rule · Jan 3, 2024

Request for Comment The Commission is requesting comments on all aspects of its proposal. … I look forward to hearing the public's comments on the proposed rule. The 60-day comment period will begin upon the Commission's publication of the proposed rule on its website.

Comparability Determination for the European Union: Certain Transaction-Level Requirements

Federal Register · Notice · Dec 27, 2013

Background On July 21, 2010, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act 8 (“Dodd-Frank Act” or “Dodd-Frank”), which, in Title VII, established a new regulatory … In this regard, the Commission may review, modify, or expand the determinations herein in light of comments received and future developments. A.

Temporary Licenses for Associated Persons, Floor Brokers, Floor Traders and Guaranteed Introducing Brokers

Federal Register · Proposed Rule · Sep 24, 1998

DATES: Comments must be submitted on or before October 26, 1998. ADDRESSES: Comments on the proposed rules should be sent to Jean A. … Background Section 8a(1) of the Commodity Exchange Act (Act) was amended in 1983 to authorize the Commission to grant a TL to an applicant for registration for a period not to exceed six months, subject

Revisions to Business Conduct and Swap Documentation Requirements for Swap Dealers and Major Swap Participants

Federal Register · Rule · Dec 30, 2025

The comment period for the Proposal closed on November 14, 2025. 59 The Commission received a total of four comment letters, all of which were relevant to the Proposal. 60 All of these letters … (2) A swap dealer may not rely on paragraph (e)(1) of this section more than twice in any 12-month period.

Cross-Border Application of the Registration Thresholds and External Business Conduct Standards Applicable to Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Oct 18, 2016

SDs during the period between March 5, 2015 and March 4, 2016 (the “Reference Period”). … Because this inter-affiliate trade data only includes open trades as of the end of the Reference Period ( i.e., trades that were closed out during the Reference Period are not accounted for in the data

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Federal Register · Rule · May 11, 2020

In addition, an anonymous commenter submitted a comment addressing issues unrelated to margin. … The Commission requested comments with respect to the RFA and received no comments. 16  5 U.S.C. 601 et seq.

Final Response to District Court Remand Order in Securities Industry and Financial Markets Association, et al. v. United States Commodity Futures Trading Commission

Federal Register · Rule · Aug 16, 2016

Staff no-action relief has typically been for limited periods of time, with extensions granted as appropriate. 128  78 FR at 45369. … Because these sources postdate the comment period on the Commission's Initial Response, the Commission is not relying on their findings.